MAXIM GROUP, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN
| Measure | Date | Value |
|---|
| 2013 : MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2013 401k financial data |
|---|
| Total income from all sources (including contributions) | 2013-12-31 | $1,180,545 |
| Total of all expenses incurred | 2013-12-31 | $254,738 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $252,224 |
| Value of total assets at end of year | 2013-12-31 | $8,313,603 |
| Value of total assets at beginning of year | 2013-12-31 | $7,387,796 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $2,514 |
| Total interest from all sources | 2013-12-31 | $116,335 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $28,280 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $28,280 |
| Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
| Value of fidelity bond cover | 2013-12-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
| Participant contributions at end of year | 2013-12-31 | $154,507 |
| Participant contributions at beginning of year | 2013-12-31 | $126,309 |
| Other income not declared elsewhere | 2013-12-31 | $-387,045 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Value of net income/loss | 2013-12-31 | $925,807 |
| Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $8,313,603 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $7,387,796 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $3,386,581 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $2,657,254 |
| Value of interest in pooled separate accounts at end of year | 2013-12-31 | $3,586,302 |
| Value of interest in pooled separate accounts at beginning of year | 2013-12-31 | $2,796,990 |
| Interest on participant loans | 2013-12-31 | $6,543 |
| Value of interest in common/collective trusts at end of year | 2013-12-31 | $1,186,213 |
| Value of interest in common/collective trusts at beginning of year | 2013-12-31 | $1,420,198 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2013-12-31 | $109,792 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $633,820 |
| Net investment gain/loss from pooled separate accounts | 2013-12-31 | $798,776 |
| Net investment gain or loss from common/collective trusts | 2013-12-31 | $-9,621 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
| Employer contributions (assets) at beginning of year | 2013-12-31 | $387,045 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $252,224 |
| Contract administrator fees | 2013-12-31 | $2,514 |
| Did the plan have assets held for investment | 2013-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Unqualified |
| Accountancy firm name | 2013-12-31 | RAPHAEL GROSSMAN, CPA |
| Accountancy firm EIN | 2013-12-31 | 112488674 |
| 2012 : MAXIM GROUP, LLC DEFINED CONTRIBUTION PLAN 2012 401k financial data |
|---|
| Total income from all sources (including contributions) | 2012-12-31 | $1,525,406 |
| Total of all expenses incurred | 2012-12-31 | $752,930 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $751,710 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $854,764 |
| Value of total assets at end of year | 2012-12-31 | $7,387,796 |
| Value of total assets at beginning of year | 2012-12-31 | $6,615,320 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $1,220 |
| Total interest from all sources | 2012-12-31 | $6,614 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $32,392 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
| Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $32,392 |
| Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
| Value of fidelity bond cover | 2012-12-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
| Participant contributions at end of year | 2012-12-31 | $126,309 |
| Participant contributions at beginning of year | 2012-12-31 | $215,495 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Value of net income/loss | 2012-12-31 | $772,476 |
| Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $7,387,796 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $6,615,320 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $2,657,254 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $2,610,076 |
| Value of interest in pooled separate accounts at end of year | 2012-12-31 | $2,796,990 |
| Value of interest in pooled separate accounts at beginning of year | 2012-12-31 | $2,542,698 |
| Interest on participant loans | 2012-12-31 | $6,614 |
| Value of interest in common/collective trusts at end of year | 2012-12-31 | $1,420,198 |
| Value of interest in common/collective trusts at beginning of year | 2012-12-31 | $1,247,051 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $278,528 |
| Net investment gain/loss from pooled separate accounts | 2012-12-31 | $340,465 |
| Net investment gain or loss from common/collective trusts | 2012-12-31 | $12,643 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
| Contributions received in cash from employer | 2012-12-31 | $854,764 |
| Employer contributions (assets) at end of year | 2012-12-31 | $387,045 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $751,710 |
| Contract administrator fees | 2012-12-31 | $1,220 |
| Did the plan have assets held for investment | 2012-12-31 | Yes |
| Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Unqualified |
| Accountancy firm name | 2012-12-31 | RAPHAEL GROSSMAN, CPA |
| Accountancy firm EIN | 2012-12-31 | 112488674 |
